Investment Adviser Compliance Conference

Investment Adviser Compliance Conference

The IAA’s annual Investment Adviser Compliance Conference is a comprehensive two-day program that provides investment advisers with the most current information available on the changing regulatory landscape. Participants will return to their firms with practical insights and knowledge of best practices to help them maintain a successful compliance program. In addition to meeting and interacting with peers, attendees will hear from a distinguished roster of speakers that includes SEC staff, investment adviser industry professionals, and legal experts. Speakers and their bios are listed on the conference speakers roster.

Agenda

The 2018 conference – on March 15-16 in Washington, D.C. – will cover a wide range of topics, including strategies for managing an SEC exam; understanding recent custody rule guidance; compliance testing and annual reviews; GIPS compliance and developments; cybersecurity developments; compliance obligations in automated investment advice; advertising, marketing materials and managing social media; third party due diligence; vendor oversight and contracts, and much more. Details are available in the full conference agenda.

Continuing Education Credit

CLE Credit: CLE accreditation is pending in Alabama, California, Georgia, Illinois, Kentucky, Missouri, Nebraska, Ohio, Pennsylvania, Texas, and Virginia. The provider believes this course meets the requirement of NH Supreme Court Rule 53. For more information or to request that your state be included, please contact Megan Olson at megan.olson@investmentadviser.org. Additional information will be available soon.

NASBA CPE Credit CPE credit will be available for this conference. Additional information will be available soon.